-case basis if necessary and lays out guidelines for promoting and supporting the establishment of high yield bond funds, etc. The Bond Market Development Committee comprises 17 members and advisors
to facilitate cross-border investment in the ASEAN region. SEC has already put in place rules permitting securities brokers or investment advisors to promulgate research analysis. The promulgation
DCA service providers and portfolio wealth advisors; (4) Updates on mutual fund-related activities: Providing information on trainings and seminars, and new mutual funds.Additionally
, foreign issuers issuing baht bonds must seek approval from the SEC in accordance with the specified criteria, such as qualifications of foreign issuers, requirements on financial advisors and intermediaries
advisors as well as knowledge enhancement of securities firms and investor contacts regarding product features and clients? risk profiles. Meanwhile, the SEC is promoting investor education to help investors
operations.The requirement to appoint independent directors, however, will not apply to certain cases; for example, securities and derivatives investment advisors due to their relatively small size and few staffs
Bangkok, August 26, 2014 ? The SEC supports commercial banks and their subsidiaries to expand their businesses in relation to new capital market products by taking roles of financial advisors
bond issuers? experience sharing. The afternoon session will introduce ?the bond fair 2015? joined by financial advisors, bond underwriters and assets management companies seeking investment in new bond